Job Description
Join our dynamic team as a Compliance Officer in Reno, NV! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in the financial services sector. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in Nevada's thriving financial hub.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations (SEC, FINRA, NMLS)
- Conduct regular internal audits and risk assessments
- Monitor regulatory changes and update policies/procedures
- Train staff on compliance requirements and ethical practices
- Investigate and resolve compliance breaches
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Certification (CRCM, CAMS, or CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance management software
- Excellent communication and documentation abilities
- Ability to handle confidential information with discretion